UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number: 811-21934
RiverNorth Funds
(Exact name of registrant as specified in charter)
325 N. LaSalle St., Suite 645,
Chicago, IL 60654
(Address of principal executive offices) (Zip code)
Paul F. Leone
ALPS Fund Services, Inc.
1290 Broadway, Suite 1100,
Denver, Colorado 80203
(Name and address of agent for service)
Copies to:
JoAnn M. Strasser
Thompson Hine LLP
41 South High Street, Suite 1700,
Columbus, Ohio, 43215
Registrant’s telephone number, including area code: (312) 832-1440
Date of fiscal year end: September 30
Date of reporting period: July 1, 2011 – June 30, 2012
Item 1. Proxy Voting Record.
RiverNorth Core Opportunity Fund
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Company Name | | Ticker | | CUSIP | | Meeting Date | | Prop # | | Proposal | | Vote | | Proposed By | | Vs. Mngmt | | Notes |
ALLIANCEBERNSTEIN INCOME FD | | ACG | | 01881E101 | | 3/29/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
APOLLO COMMERCIAL REAL ESTATE FINANCE | | ARI | | 03762U105 | | 5/4/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
APOLLO COMMERCIAL REAL ESTATE FINANCE | | ARI | | 03762U105 | | 5/4/2012 | | 2 | | RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS APOLLO COMMERCIAL REAL ESTATE FINANCE, INC.’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31,2012. | | Split | | Mgmt | | With/Against | | Mirror Vote |
APOLLO COMMERCIAL REAL ESTATE FINANCE | | ARI | | 03762U105 | | 5/4/2012 | | 3 | | APPROVAL, ON AN ADVISORY BASIS, OF THE COMPENSATION OF APOLLO COMMERCIAL REAL ESTATE FINANCE, INC.’S NAMED EXECUTIVE OFFICERS AS DESCRIBED IN THE 2012 PROXY STATEMENT. | | Split | | Mgmt | | With/Against | | Mirror Vote |
BLACKROCK PREFERRED & EQUITY ADVANTAGE | | BTZ | | 092508100 | | 7/28/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
BLACKROCK PREFERRED OPPORTUNITY TRUST | | BPP | | 09249V103 | | 7/28/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
BOULDER GROWTH & INCOME FUND, INC. | | BIF | | 101507101 | | 4/27/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
BOULDER TOTAL RETURN FUND, INC. | | BTF | | 101541100 | | 4/27/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
BR PREFERRED INCOME STRATEGIES FUND | | PSY | | 09255H105 | | 7/28/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
CALAMOS CONV & HIGH INCOME FUND | | CHY | | 12811P108 | | 6/27/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
CALAMOS STRATEGIC TOTAL RETURN FUND | | CSQ | | 128125101 | | 6/27/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
CLOUGH GLOBAL OPPORTUNITIES FUND | | GLO | | 18914E106 | | 7/15/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
CLOUGH GLOBAL EQUITY FUND | | GLQ | | 18914C100 | | 7/15/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
COLONY FINANCIAL INC | | CLNY | | 19624R106 | | 5/2/2012 | | 1 | | ELECTION OF DIRECTORS | | For | | Mgmt | | With | | |
COLONY FINANCIAL INC | | CLNY | | 19624R106 | | 5/2/2012 | | 2 | | APPROVAL OF AN ADVISORY PROPOSAL REGARDING THE COMPENSATION PAID TO COLONY FINANCIAL’S NAMED EXECUTIVE OFFICERS (THE “SAY ON PAY” PROPOSAL). | | For | | Mgmt | | With | | |
COLONY FINANCIAL INC | | CLNY | | 19624R106 | | 5/2/2012 | | 3 | | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT PUBLIC AUDITOR FOR THE FISCAL YEAR ENDING DECEMBER 31, 2012. | | For | | Mgmt | | With | | |
EATON VANCE FLOATING-RATE INCOME TRUST | | EFT | | 278279104 | | 3/23/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
EATON VANCE FUNDS | | ETV | | 27828Y108 | | 4/20/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
EATON VANCE RISK-MGD DIV EQTY INCM FD | | ETJ | | 27829G106 | | 4/20/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
EATON VANCE TAX-MANAGED GLOBAL | | ETW | | 27829C105 | | 4/20/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
EV TAX-MANAGED DIVERSIFIED EQUITY INCOME | | ETY | | 27828N102 | | 8/26/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
EATON VANCE TAX-MANGD GLB DIV EQ INC FD | | EXG | | 27829F108 | | 8/26/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
GABELLI DIVIDEND & INCOME TRUST | | GDV | | 36242H104 | | 5/14/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
GENERAL AMERICAN INVESTORS COMPANY, INC. | | GAM | | 368802104 | | 4/11/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
GENERAL AMERICAN INVESTORS COMPANY, INC. | | GAM | | 368802104 | | 4/11/2012 | | 2 | | RATIFICATION OF THE SELECTION OF ERNST & YOUNG LLP AS AUDITORS. | | Split | | Mgmt | | With/Against | | Mirror Vote |
GENERAL AMERICAN INVESTORS COMPANY, INC. | | GAMPRB | | 368802401 | | 4/11/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
GENERAL AMERICAN INVESTORS COMPANY, INC. | | GAMPRB | | 368802401 | | 4/11/2012 | | 2 | | RATIFICATION OF THE SELECTION OF ERNST & YOUNG LLP AS AUDITORS. | | Split | | Mgmt | | With/Against | | Mirror Vote |
H&Q LIFE SCIENCES INVESTORS | | HQL | | 404053100 | | 7/8/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
H&Q LIFE SCIENCES INVESTORS | | HQL | | 404053100 | | 7/8/2011 | | 2 | | TO RATIFY THE SELECTION OF DELOITTE & TOUCHE LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS OF THE FUND FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2011. | | Split | | Mgmt | | With/Against | | Mirror Vote |
H&Q LIFE SCIENCES INVESTORS | | HQL | | 404053100 | | 7/8/2011 | | 3 | | SHAREHOLDER PROPOSAL REGARDING ANNUAL TERMS FOR TRUSTEES, IF PROPERLY PRESENTED. | | Split | | Shr | | With/Against | | Mirror Vote |
LEGG MASON | | EMO | | 18469P100 | | 12/12/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
LEGG MASON | | GDO | | 95790C107 | | 2/24/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
LEGG MASON PARTNERS CAPITAL AND INCOME | | SCD | | 50208A102 | | 3/30/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
LEGG MASON, INC. | | LM | | 524901105 | | 7/26/2011 | | 1 | | ELECTION OF DIRECTORS | | For | | Mgmt | | With | | |
LEGG MASON, INC. | | LM | | 524901105 | | 7/26/2011 | | 2 | | AMENDMENT AND RE-APPROVAL OF THE LEGG MASON, INC. 1996 EQUITY INCENTIVE PLAN; | | For | | Mgmt | | With | | |
LEGG MASON, INC. | | LM | | 524901105 | | 7/26/2011 | | 3 | | AMENDMENT OF THE LEGG MASON, INC. ARTICLES OF INCORPORATION TO PROVIDE FOR THE ANNUAL ELECTION OF DIRECTORS; | | For | | Mgmt | | With | | |
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LEGG MASON, INC. | | LM | | 524901105 | | 7/26/2011 | | 4 | | AN ADVISORY VOTE ON THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS; | | For | | Mgmt | | With | | |
LEGG MASON, INC. | | LM | | 524901105 | | 7/26/2011 | | 5 | | AN ADVISORY VOTE ON FREQUENCY OF ADVISORY VOTES ON THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS; | | For | | Mgmt | | With | | |
LEGG MASON, INC. | | LM | | 524901105 | | 7/26/2011 | | 6 | | RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM; | | For | | Mgmt | | With | | |
LIBERTY ALL-STAR EQUITY FUND | | USA | | 530158104 | | 9/30/2011 | | 1 | | TO APPROVE A NEW FUND MANAGEMENT AGREEMENT BETWEEN THE FUND AND ALPS ADVISORS, INC. TO BECOME EFFECTIVE UPON THE CLOSING OF THE TRANSACTION WHEREBY ALPS HOLDINGS INC. WILL MERGE WITH A WHOLLY-OWNED SUBSIDIARY OF DST SYSTEMS, INC. (THE “CLOSING”). | | Split | | Mgmt | | With/Against | | Mirror Vote |
LIBERTY ALL-STAR EQUITY FUND | | USA | | 530158104 | | 9/30/2011 | | 2A | | PORTFOLIO MANAGEMENT AGREEMENT FOR FUND WITH ALPS ADVISORS, INC. & CURRENT PORTFOLIO MANAGER CORNERSTONE CAPITAL MANAGEMENT, INC. | | Split | | Mgmt | | With/Against | | Mirror Vote |
LIBERTY ALL-STAR EQUITY FUND | | USA | | 530158104 | | 9/30/2011 | | 2B | | PORTFOLIO MANAGEMENT AGREEMENT FOR FUND WITH ALPS ADVISORS, INC. & CURRENT PORTFOLIO MANAGER MATRIX ASSET ADVISERS, INC. | | Split | | Mgmt | | With/Against | | Mirror Vote |
LIBERTY ALL-STAR EQUITY FUND | | USA | | 530158104 | | 9/30/2011 | | 2C | | PORTFOLIO MANAGEMENT AGREEMENT FOR FUND WITH ALPS ADVISORS, INC. & CURRENT PORTFOLIO MANAGER PZENA INVESTMENT MANAGEMENT, LLC. | | Split | | Mgmt | | With/Against | | Mirror Vote |
LIBERTY ALL-STAR EQUITY FUND | | USA | | 530158104 | | 9/30/2011 | | 2D | | PORTFOLIO MANAGEMENT AGREEMENT FOR FUND WITH ALPS ADVISORS, INC. & CURRENT PORTFOLIO MANAGER SCHNEIDER CAPITAL MANAGEMENT CORPORATION. | | Split | | Mgmt | | With/Against | | Mirror Vote |
LIBERTY ALL-STAR EQUITY FUND | | USA | | 530158104 | | 9/30/2011 | | 2E | | PORTFOLIO MANAGEMENT AGREEMENT FOR FUND WITH ALPS ADVISORS, INC. & CURRENT PORTFOLIO MANAGER TCW INVESTMENT MANAGEMENT COMPANY. | | Split | | Mgmt | | With/Against | | Mirror Vote |
LIBERTY ALL-STAR EQUITY FUND | | USA | | 530158104 | | 9/30/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
MACQUAIRE GLOBAL INFRASTRUCTURE TOTAL RT | | MGU | | 55608D101 | | 6/21/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
MACQUAIRE GLOBAL INFRASTRUCTURE TOTAL RT | | MGU | | 55608D101 | | 6/21/2012 | | 2 | | STOCKHOLDER PROPOSAL PRESENTED UNDER THE HEADING “STOCKHOLDER PROPOSAL” IN THE ACCOMPANYING PROXY STATEMENT. | | Split | | Shr | | With/Against | | Mirror Vote |
NFJ DIVIDEND, INTEREST & PREM STRAT FD | | NFJ | | 65337H109 | | 7/20/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
NUVEEN FLOATING RATE INCOME FUND | | JFR | | 67072T108 | | 3/14/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
NUVEEN PREFERED & CONVERTIBLE INCOME 2 | | JQC | | 67073D102 | | 11/18/2011 | | 1 | | TO AMEND THE FUND’S FUNDAMENTAL INVESTMENT RESTRICTION REGARDING CONCENTRATION. | | Split | | Mgmt | | With/Against | | Mirror Vote |
NUVEEN PREFERED & CONVERTIBLE INCOME 2 | | JQC | | 67073D102 | | 3/30/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
NUVEEN PREFERRED AND CONVERTIBLE INCOME | | JPC | | 67073B106 | | 11/18/2011 | | 1 | | TO APPROVE AN INVESTMENT SUB-ADVISORY AGREEMENT BETWEEN NUVEEN FUND ADVISORS, INC. AND NUVEEN ASSET MANAGEMENT, LLC. | | Split | | Mgmt | | With/Against | | Mirror Vote |
NUVEEN PREFERRED AND CONVERTIBLE INCOME | | JPC | | 67073B106 | | 11/18/2011 | | 2 | | TO APPROVE AN INVESTMENT SUB-ADVISORY AGREEMENT BETWEEN NUVEEN FUND ADVISORS, INC. AND NWQ INVESTMENT MANAGEMENT, LLC. | | Split | | Mgmt | | With/Against | | Mirror Vote |
NUVEEN PREFERRED AND CONVERTIBLE INCOME | | JPC | | 67073B106 | | 3/30/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
PIMCO INCOME OPPORTUNITY FD | | PKO | | 72202B100 | | 4/23/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
ROYCE FOCUS TRUST, INC. | | FUND | | 78080N108 | | 9/22/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
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ROYCE VALUE TRUST, INC. | | RVT | | 780910105 | | 9/22/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
RYDEX SERIES TRUST | | XLG | | 78355W205 | | 1/26/2012 | | 1 | | TO APPROVE A NEW INVESTMENT ADVISORY AGREEMENT BETWEEN THE TRUST AND SECURITIES INVESTORS, LLC | | Split | | Mgmt | | With/Against | | Mirror Vote |
RYDEX SERIES TRUST | | XLG | | 78355W205 | | 1/26/2012 | | 2 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
RYDEX SERIES TRUST | | XLG | | 78355W205 | | 1/26/2012 | | 3 | | TO APPROVE A “MANAGER OF MANAGERS” ARRANGEMENT | | Split | | Mgmt | | With/Against | | Mirror Vote |
SUNAMERICA FOCUSED ALPHA GROWTH FD INC | | FGF | | 867037103 | | 12/19/2011 | | 1 | | APPROVE AN AGREEMENT AND PLAN OF REORGANIZATION PROVIDING FOR THE TRANSFER OF ALL ASSETS OF FGF TO THE SUNAMERICA FOCUSED ALPHA GROWTH FUND (“FOCUSED ALPHA GROWTH FUND”), IN EXCHANGE FOR CLASS A SHARES OF FOCUSED ALPHA GROWTH FUND; DISTRIBUTION OF SUCH CLASS A SHARES TO HOLDERS OF FGF IN COMPLETE LIQUIDATION OF FGF; AND THE DISSOLUTION OF FGF UNDER MARYLAND LAW. | | Split | | Mgmt | | With/Against | | Mirror Vote |
TCW STRATEGIC INCOME FUND, INC. | | TSI | | 872340104 | | 9/15/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
TCW STRATEGIC INCOME FUND, INC. | | TSI | | 872340104 | | 9/15/2011 | | 2 | | AMENDMENT OF THE COMPANY’S INVESTMENT RESTRICTION REGARDING FUTURES CONTRACTS AND OPTIONS ON FUTURES CONTRACTS TO PERMIT THE COMPANY TO PURCHASE AND SELL INTEREST RATE FUTURES CONTRACTS AND OPTIONS ON INTEREST RATE FUTURES CONTRACTS. | | Split | | Mgmt | | With/Against | | Mirror Vote |
TEMPLETON EMERGING MARKETS FUND | | EMF | | 880191101 | | 3/2/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
TEMPLETON EMERGING MARKETS FUND | | EMF | | 880191101 | | 3/2/2012 | | 2 | | RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FUND FOR THE FISCAL YEAR ENDING AUGUST 31, 2012. | | Split | | Mgmt | | With/Against | | Mirror Vote |
THE CENTRAL EUROPE AND RUSSIA FUND | | CEE | | 153436100 | | 6/27/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
THE CENTRAL EUROPE AND RUSSIA FUND | | CEE | | 153436100 | | 6/27/2012 | | 2 | | TO RATIFY THE APPOINTMENT BY THE AUDIT COMMITTEE AND THE BOARD OF DIRECTORS OF PRICEWATERHOUSECOOPERS LLP, AN INDEPENDENT PUBLIC ACCOUNTING FIRM, AS INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING OCTOBER 31, 2012. | | Split | | Mgmt | | With/Against | | Mirror Vote |
THE CENTRAL EUROPE AND RUSSIA FUND | | CEE | | 153436100 | | 6/27/2012 | | 3 | | IF PROPERLY PRESENTED AT THE MEETING, TO CONSIDER AND VOTE ON A STOCKHOLDER PROPOSAL TO ASK THE BOARD OF DIRECTORS TO TAKE THE STEPS NECESSARY TO ADOPT AN INTERVAL FUND STRUCTURE, WHEREBY THE FUND WOULD CONDUCT PERIODIC TENDER OFFERS AT LEAST SEMIANNUALLY FOR AT LEAST 10% OF CURRENTLY OUTSTANDING COMMON SHARES AT A PRICE OF AT LEAST 98% OF NET ASSET VALUE. | | Split | | Shr | | With/Against | | Mirror Vote |
TRI-CONTINENTAL CORPORATION | | TY | | 895436103 | | 4/12/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
TRI-CONTINENTAL CORPORATION | | TY | | 895436103 | | 4/12/2012 | | 2 | | TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS THE CORPORATION’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | | Split | | Mgmt | | With/Against | | Mirror Vote |
WELLS FARGO ADVANTAGE FUNDS | | ERC | | 94987D101 | | 2/13/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
WESTERN ASSET/CLAYMORE LINKED OPP & INC | | WIW | | 95766R104 | | 5/1/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
ADAMS EXPRESS COMPANY | | ADX | | 006212104 | | 3/20/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
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ADAMS EXPRESS COMPANY | | ADX | | 006212104 | | 3/20/2012 | | 2 | | THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT PUBLIC AUDITORS. | | Split | | Mgmt | | With/Against | | Mirror Vote |
AFFILIATED MANAGERS GROUP, INC. | | AMG | | 008252108 | | 6/18/2012 | | 1 | | ELECTION OF DIRECTORS | | For | | Mgmt | | With | | |
AFFILIATED MANAGERS GROUP, INC. | | AMG | | 008252108 | | 6/18/2012 | | 2 | | TO APPROVE, BY A NON-BINDING ADVISORY VOTE, THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS. | | For | | Mgmt | | With | | |
AFFILIATED MANAGERS GROUP, INC. | | AMG | | 008252108 | | 6/18/2012 | | 3 | | TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE CURRENT FISCAL YEAR. | | For | | Mgmt | | With | | |
KAYNE ANDERSON MLP INVESTMENT CO | | KYNPRD | | 486606403 | | 6/13/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
KAYNE ANDERSON MLP INVESTMENT CO | | KYNPRD | | 486606403 | | 6/13/2012 | | 2 | | THE RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING NOVEMBER 30, 2012. | | Split | | Mgmt | | With/Against | | Mirror Vote |
KAYNE ANDERSON MLP INVESTMENT CO | | KYNPRD | | 486606403 | | 6/13/2012 | | 3 | | THE APPROVAL OF A PROPOSAL TO AUTHORIZE THE COMPANY TO SELL SHARES OF ITS COMMON STOCK AT A NET PRICE LESS THAN THE NET ASSET VALUE PER SHARE, SUBJECT TO THE GROSS PRICE (BEFORE UNDERWRITING FEES, COMMISSIONS AND OFFERING EXPENSES) BEING ABOVE THE NET ASSET VALUE PER SHARE. | | Split | | Mgmt | | With/Against | | Mirror Vote |
RiverNorth/DoubleLine Strategic Income Fund
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Company Name | | Ticker | | CUSIP | | Meeting Date | | Prop # | | Proposal | | Vote | | Proposed By | | Vs. Mngmt | | Notes |
ALLIANCEBERNSTEIN INCOME FD | | ACG | | 01881E101 | | 3/29/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
APOLLO COMMERCIAL REAL ESTATE FINANCE | | ARI | | 03762U105 | | 5/4/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
APOLLO COMMERCIAL REAL ESTATE FINANCE | | ARI | | 03762U105 | | 5/4/2012 | | 2 | | RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS APOLLO COMMERCIAL REAL ESTATE FINANCE, INC.’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31,2012. | | Split | | Mgmt | | With/Against | | Mirror Vote |
APOLLO COMMERCIAL REAL ESTATE FINANCE | | ARI | | 03762U105 | | 5/4/2012 | | 3 | | APPROVAL, ON AN ADVISORY BASIS, OF THE COMPENSATION OF APOLLO COMMERCIAL REAL ESTATE FINANCE, INC.’S NAMED EXECUTIVE OFFICERS AS DESCRIBED IN THE 2012 PROXY STATEMENT. | | Split | | Mgmt | | With/Against | | Mirror Vote |
APOLLO SENIOR FLOATING RATE, INC | | AFT | | 037636107 | | 5/21/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
BLACKROCK PREFERRED & EQUITY ADVANTAGE | | BTZ | | 092508100 | | 7/28/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
BLACKROCK PREFERRED OPPORTUNITY TRUST | | BPP | | 09249V103 | | 7/28/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
BLACKSTONE FUNDS | | BGX | | 09257D102 | | 4/25/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
BR PREFERRED & CORPORATE INCOME STRT FD | | PSW | | 09255J101 | | 7/28/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
CALAMOS CONV & HIGH INCOME FUND | | CHY | | 12811P108 | | 6/27/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
CALAMOS CONV OPPS & INCOME FUND | | CHI | | 128117108 | | 6/27/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
COLONY FINANCIAL INC | | CLNY | | 19624R106 | | 5/2/2012 | | 1 | | ELECTION OF DIRECTORS | | For | | Mgmt | | For | | |
COLONY FINANCIAL INC | | CLNY | | 19624R106 | | 5/2/2012 | | 2 | | APPROVAL OF AN ADVISORY PROPOSAL REGARDING THE COMPENSATION PAID TO COLONY FINANCIAL’S NAMED EXECUTIVE OFFICERS (THE “SAY ON PAY” PROPOSAL). | | For | | Mgmt | | For | | |
COLONY FINANCIAL INC | | CLNY | | 19624R106 | | 5/2/2012 | | 3 | | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT PUBLIC AUDITOR FOR THE FISCAL YEAR ENDING DECEMBER 31, 2012. | | For | | Mgmt | | For | | |
DWS GLOBAL HIGH INCOME FUND, INC. | | LBF | | 23338W104 | | 10/17/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
EATON VANCE FLOATING-RATE INCOME TRUST | | EFT | | 278279104 | | 3/23/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
EATON VANCE FUNDS | | EXD | | 27829M103 | | 4/20/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
EATON VANCE LIMITED DURATION INCOME FD | | EVV | | 27828H105 | | 3/16/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
EATON VANCE SENIOR INCOME TRUST | | EVF | | 27826S103 | | 10/28/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
EATON VANCE SHORT DURATION DIV INCOME FD | | EVG | | 27828V104 | | 2/24/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
FIRST TR STRATEGIC HIGH INCOME | | FHI | | 337347108 | | 8/8/2011 | | 1 | | TO APPROVE AN AGREEMENT AND PLAN OF REORGANIZATION PURSUANT TO WHICH FIRST TRUST STRATEGIC HIGH INCOME FUND (ACQUIRED FUND) WOULD (1) TRANSFER ALL ASSETS TO FIRST TRUST STRATEGIC HIGH INCOME FUND II (ACQUIRING FUND) (2) DISTRIBUTE SUCH SHARES OF THE ACQUIRING FUND, (3) COMPLETELY LIQUIDATE, AND BE DISSOLVED, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT. | | Split | | Mgmt | | With/Against | | Mirror Vote |
FIRST TRUST/ABERDEEN GLOBAL OPP INC FD | | FAM | | 337319107 | | 4/18/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
FIRST TRUST/FOUR CORNERS SR FLOATING | | FCT | | 33733U108 | | 9/19/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
GDL FD | | GDL | | 361570104 | | 5/14/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
GENERAL AMERICAN INVESTORS COMPANY, INC. | | GAMPRB | | 368802401 | | 4/11/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
GENERAL AMERICAN INVESTORS COMPANY, INC. | | GAMPRB | | 368802401 | | 4/11/2012 | | 2 | | RATIFICATION OF THE SELECTION OF ERNST & YOUNG LLP AS AUDITORS. | | Split | | Mgmt | | With/Against | | Mirror Vote |
GUGGENHEIM FUNDS | | GBAB | | 401664107 | | 4/4/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
HELIOS FUNDS | | HAV | | 42327W206 | | 11/17/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
HELIOS FUNDS | | HMH | | 42327Y202 | | 11/17/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
HELIOS FUNDS | | HSA | | 42328A203 | | 11/17/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
ING PRIME RATE TRUST | | PPR | | 44977W106 | | 7/6/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
KAYNE ANDERSON MLP INVESTMENT CO | | KYNPRE | | 486606502 | | 6/13/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
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KAYNE ANDERSON MLP INVESTMENT CO | | KYNPRE | | 486606502 | | 6/13/2012 | | 2 | | THE RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING NOVEMBER 30, 2012. | | Split | | Mgmt | | With/Against | | Mirror Vote |
KAYNE ANDERSON MLP INVESTMENT CO | | KYNPRE | | 486606502 | | 6/13/2012 | | 3 | | THE APPROVAL OF A PROPOSAL TO AUTHORIZE THE COMPANY TO SELL SHARES OF ITS COMMON STOCK AT A NET PRICE LESS THAN THE NET ASSET VALUE PER SHARE, SUBJECT TO THE GROSS PRICE (BEFORE UNDERWRITING FEES, COMMISSIONS AND OFFERING EXPENSES) BEING ABOVE THE NET ASSET VALUE PER SHARE. | | Split | | Mgmt | | With/Against | | Mirror Vote |
LEGG MASON | | GDO | | 95790C107 | | 2/24/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
MONTGOMERY STREET INCOME SECURITIES, INC | | MTS | | 614115103 | | 7/14/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
NUVEEN FLOATING RATE INCOME FUND | | JFR | | 67072T108 | | 3/14/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
NUVEEN INVESTMENTS | | JLS | | 670735109 | | 3/30/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
NUVEEN MULTI-CURR. SHORT-TERM GOVT INC | | JGT | | 67090N109 | | 3/30/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
NUVEEN PREFERED & CONVERTIBLE INCOME 2 | | JQC | | 67073D102 | | 3/30/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
NUVEEN PREFERRED AND CONVERTIBLE INCOME | | JPC | | 67073B106 | | 3/30/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
PIMCO INCOME OPPORTUNITY FD | | PKO | | 72202B100 | | 4/23/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
PUTNAM MASTER INTERMEDIATE INCOME TRUST | | PIM | | 746909100 | | 1/26/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
PUTNAM PREMIER INCOME TRUST | | PPT | | 746853100 | | 1/26/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
PYXIS FUNDS | | HCF | | 74734W107 | | 6/3/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
TORTOISE ENERGY CAPITAL CORP. | | TYYPRB | | 89147U503 | | 5/24/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
TORTOISE ENERGY CAPITAL CORP. | | TYYPRB | | 89147U503 | | 5/24/2012 | | 2 | | APPROVAL FOR THE COMPANY, WITH THE APPROVAL OF ITS BOARD OF DIRECTORS, TO SELL OR OTHERWISE ISSUE SHARES OF ITS COMMON STOCK AT A PRICE BELOW ITS THEN CURRENT NET ASSET VALUE PER SHARE SUBJECT TO THE LIMITATIONS SET FORTH IN THE PROXY STATEMENT FOR THE 2012 ANNUAL MEETING OF STOCKHOLDERS. | | Split | | Mgmt | | With/Against | | Mirror Vote |
TORTOISE ENERGY CAPITAL CORP. | | TYYPRB | | 89147U503 | | 5/24/2012 | | 3 | | RATIFICATION OF ERNST & YOUNG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM TO AUDIT THE FINANCIAL STATEMENTS OF THE COMPANY FOR THE FISCAL YEAR ENDING NOVEMBER 30, 2012. | | Split | | Mgmt | | With/Against | | Mirror Vote |
WELLS FARGO ADVANTAGE FUNDS | | ERC | | 94987D101 | | 2/13/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
WESTERN ASSET INFLATION MANAGEMENT FUND | | IMF | | 95766U107 | | 4/27/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
WESTERN ASSET INFLATION MANAGEMENT FUND | | IMF | | 95766U107 | | 4/27/2012 | | 2 | | A STOCKHOLDER PROPOSAL TO TERMINATE THE EXISTING INVESTMENT MANAGEMENT AGREEMENT. | | Split | | Shr | | With/Against | | Mirror Vote |
WESTERN ASSET/CLAYMORE LINKED OPP & INC | | WIW | | 95766R104 | | 5/1/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
WESTERN ASSET/CLAYMORE LINKED SEC & INC | | WIA | | 95766Q106 | | 5/1/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
GDL FD | | GDL PRB | | 361570104 | | 5/14/2012 | | 1 | | ELECTION OF DIRECTORS | | Split | | Mgmt | | With/Against | | Mirror Vote |
BTA Bank JSC, Almaty | | | | XS0532988770 | | 3/21/2012 | | 1 | | ELECTION OF DIRECTORS | | DNV | | Mgmt | | N/A | | Did Not Vote |
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
Registrant: RiverNorth Funds
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By (Signature and Title): | | /s/ Patrick W. Galley |
| | Patrick W. Galley, President |
Date: August 31, 2012